0651-0040 Supporting Statement final May 2017

SUPPORTING STATEMENT

United States Patent and Trademark Office

Trademark Trial and Appeal Board (TTAB) Actions

OMB CONTROL NO. 0651-0040

May 2017

A. JUSTIFICATION

1. Necessity of Information Collection

This collection of information is required by the Trademark Act of 1946, Sections 13, 14, and 20, 15 U.S.C.1063, 1064, and 1070, respectively. Under the Trademark Act, any individual or entity that adopts a trademark or service mark to identify its goods or services may apply to federally register its mark. The mark will remain on the register for ten years and is renewable in ten-year increments. Section 14 of the Trademark Act allows individuals and entities to file a petition to cancel a registration of a mark, while Section 13 allows individuals and entities who believe that they would be damaged by the registration of a mark to file an opposition, or an extension of time to file an opposition, to the registration of a mark. Section 20 of the Trademark Act allows individuals and entities to file an appeal from any final decision of the Trademark Examining Attorney assigned to review an application for registration of a mark.

The United States Patent and Trademark Office (USPTO) administers the Trademark Act pursuant to 37 CFR Part 2, which contains the various rules that govern the filing of petitions to cancel the registration of a mark, notices of opposition to the registration of a mark, extensions of time to file an opposition, appeals, and other papers filed in connection with inter partes and ex parte proceedings.

These petitions, notices, extensions, and additional papers are filed with the Trademark Trial and Appeal Board (TTAB). The TTAB decides inter partes cases and ex parte appeals. The TTAB is an administrative tribunal empowered to determine the right to register as the issue may be presented in such cases. The Chief Administrative Trademark Judge, Deputy Chief Administrative Trademark Judge and 24 administrative trademark judges decide proceedings filed with the TTAB. A panel of three judges decides each case when it is ready for final decision on the merits. The TTAB follows the Federal Rules of Civil Procedure when applicable, and the “Trademark Rules” in 37 CFR Part 2.

The USPTO is also part of the Madrid Protocol, an international agreement governing trademark protection, and accepts these international filings. Under the Madrid Protocol, parties can file oppositions to extensions of protection under the Madrid Protocol, as well as file requests for extensions of time to oppose these extensions of protection. Oppositions and extensions filed under the Madrid Protocol must be filed electronically through the Electronic System for Trademark Trials and Appeals (ESTTA).

2. Needs and Uses

The information in this collection is a matter of public record and is used by the public for a variety of private business purposes related to establishing and enforcing trademark rights. This information is important to the public, as both common law trademark owners and Federal trademark registrants must actively protect their own rights.

The information collected, maintained, and used in this collection is based on OMB and USPTO guidelines. This includes the basic information quality standards established in the Paperwork Reduction Act (44 U.S.C. Chapter 35), in OMB Circular A-130, and in the USPTO information quality guidelines.

Table 1 lists the specific statutes and regulations authorizing the USPTO to collect this information and outlines how this information is used by the public and the USPTO:

Table 1: Information Requirements and Needs and Uses of Information Collected

Item #	Requirement	Statute	Rule	Form #	Needs and Uses
1	Petition to Cancel	15 U.S.C. § 1064	37 CFR 2.111 and 2.112	No Form Associated; Suggested Format	Used by the public to request the cancellation of a trademark registration in whole or in part. Used by the public to submit the required fee. Used by the USPTO to institute a cancellation proceeding and to notify the registrant of the grounds for cancellation.
1	Electronic Petition to Cancel	15 U.S.C. § 1064	37 CFR 2.111 and 2.112	PTO 2188	Used by the public to request the cancellation of a trademark registration in whole or in part electronically. Used by the public to submit the required fee electronically. Used by the USPTO to institute a cancellation proceeding and to notify the registrant of the grounds for cancellation electronically.
2	Notice of Opposition	15 U.S.C. § 1063	37 CFR 2.101 and 2.104	No Form Associated; Suggested Format	Used by the public to oppose registration of a pending trademark application within 30 days after the publication of the application being opposed or within the extension of time for filing an opposition. Used by the USPTO to process an opposition to the registration of a mark.
2	Electronic Notice of Opposition	15 U.S.C. § 1063	37 CFR 2.101 and 2.104	PTO 2120	Used by the public to submit an opposition to the registration of a pending trademark application within 30 days after the publication of the application being opposed or within the extension of time for filing an opposition electronically. Used by the USPTO to process an opposition to the registration of a mark electronically.
3	Extension of Time to File an Opposition	15 U.S.C. § 1063	37 CFR 2.102	No Form Associated	Used by the public to request additional time to file an opposition to a trademark registration prior to the expiration of the 30-day period. Used by the USPTO to extend the time for filing an opposition an additional 30 days, and to grant further extensions in accordance with TTAB rules. Used by the USPTO to notify the applicant of each extension of time for filing an opposition.
3	Electronic Request for Extension of Time to File an Opposition	15 U.S.C. § 1063	37 CFR 2.102	PTO 2153	Used by the public to electronically request additional time to file an opposition to a trademark registration prior to the expiration of the 30-day period. Used by the USPTO to extend the time for filing an opposition an additional 30 days, and to grant further extensions in accordance with TTAB rules. Used by the USPTO to notify the applicant of each extension of time for filing an opposition.
4	Papers in Inter Partes Cases Answers Amendments to Pleadings Amendment of Application or Registration during Proceeding Motions (such as consent motions, motions to extend, motions to suspend, etc.) Evidence Briefs Surrender of Registration Abandonment of Application Documents Related to Concurrent Use Applications Notice of Intent to Appeal a TTAB Decision	Not Applicable	37 CFR 2.106 & 2.114 37 CFR 2.107 & 2.115 37 CFR 2.133 37 CFR 2.120, 2.125, 2.127 and 2.129 37 CFR 2.122-125 37 CFR 2.128 37 CFR 2.134 37 CFR 2.135 37 CFR 2.299 37 CFR 2.145	No Form Associated	Used by the public to file papers, such as motions and briefs, needed to prosecute inter partes cases. Used by the USPTO to process inter partes cases. Used by the USPTO as a suspense copy for appeals of TTAB decisions filed with a federal court.
4	Electronic Papers in Inter Partes Cases Answers Amendments to Pleadings Amendment of Application or Registration during Proceeding Motions (such as consent motions, motions to extend, motions to suspend, etc.) Evidence Briefs Surrender of Registration Abandonment of Application Documents Related to Concurrent Use Applications Notice of Intent to Appeal a TTAB Decision	Not Applicable	37 CFR 2.106 & 2.114 37 CFR 2.107 & 2.115 37 CFR 2.133 37 CFR 2.120, 2.125, 2.127 and 2.129 37 CFR 2.122-125 37 CFR 2.128 37 CFR 2.134 37 CFR 2.135 37 CFR 2.299 37 CFR 2.145	PTO 2151	Used by the public to electronically file papers, such as motions and briefs, needed to prosecute inter partes cases. Used by the USPTO to process inter partes cases. Used by the USPTO as a suspense copy for appeals of TTAB decisions filed with a federal court.
5	Notice of Appeal	15 U.S.C. § 1070	37 CFR 2.102	No Form Associated	Used by the public to appeal a final decision of the Trademark Examining Attorney refusing registration of a trademark within six months of the mailing date of the final refusal to register the mark. Used by the public to submit the required fees. Used by the USPTO to institute and process an appeal.
5	Electronic Notice of Appeal	15 U.S.C. § 1070	37 CFR 2.102	PTO 2190	Used by the public to electronically file an appeal of the Trademark Examining Attorney’s final decision refusing registration of a trademark within six months of the mailing date of the final refusal to register the mark. Used by the public to submit the required fees. Used by the USPTO to institute and process an appeal.
6	Miscellaneous Ex Parte Papers	Not Applicable	37 CFR 2.144	No Form Associated	Used by the public to file papers in ex parte appeal cases. Used by the USPTO to process ex parte cases.
6	Electronic Miscellaneous Ex Parte Papers	Not Applicable	37 CFR 2.144	PTO 2189	Used by the public to file papers in ex parte appeal cases electronically. Used by the USPTO to process ex parte cases.

3. Use of Information Technology

The information in this collection must be submitted electronically through ESTTA when a party files a petition to cancel a trademark registration, an opposition to the registration of a trademark, a request to extend the time to file an opposition, a notice of appeal, or additional papers for inter partes and ex parte proceedings with the USPTO. Submissions filed in paper form via mail or hand delivery are permitted only when ESTTA is unavailable due to technical problems, or when extraordinary circumstances are present.

ESTTA can be accessed through the USPTO’s web site and allows filers to timely complete and submit forms to the TTAB electronically. They can also print out the completed form and mail it to the USPTO. ESTTA provides step-by-step instructions and help screens for completing the forms. The system prompts the filer to validate the required fields and sign the submission before it is electronically submitted to the TTAB.

Upon transmission, the form will be assigned an ESTTA tracking number. The forms that are filed through ESTTA are time-stamped with the official filing date when received on the USPTO server. In cases where a fee is required, the time-stamp is applied when the payment process is completed and the receipt screen is displayed. The filing date is also controlled by Eastern Standard Time. The official filing date and time can be found on the confirmation web screen and in the e-mail confirmation. Once the form has been submitted electronically, the USPTO will immediately provide the sender with an acknowledgment of receipt via e-mail.

The information submitted through ESTTA moves directly into the Trademark Trial and Appeal Board Information System (TTABIS), the TTAB’s electronic workflow system. Electronically submitted forms need not be processed or scanned by hand, thereby eliminating the delays caused by the processing and scanning of paper filings. The TTAB’s electronic workflow system processes all incoming and outgoing documents electronically and permits staff to prepare correspondence, track cases, generate reports for management, and monitor proceedings in an effective, secure, and timely manner. Information regarding TTAB proceedings is available within the USPTO over the Intranet and by the public over the Internet via TTABVUE. TTABIS users will have the ability to add electronic notes and highlights directly to TTABIS electronic documents.

The TTAB disseminates the information collected through the notices of opposition, extensions of time to oppose, petitions to cancel, and miscellaneous papers in inter partes and ex parte proceedings electronically through TTABVUE. This system can be accessed through the TTAB’s homepage on the USPTO’s website. TTABVUE provides online images of the TTAB filings indexed by prosecution history entry. It allows users to view proceedings with incoming filings from either Internet filings or scanned paper. Other features include the capability to print and enlarge the incoming document to a readable size.

TTABVUE allows the public and the TTAB staff to retrieve information concerning TTAB proceedings from the TTAB’s internal databases electronically using the Internet. Staff and customers can search, view, and print specific information using their browser. This provides a single point of access for querying information through a user-friendly interface. Information can be retrieved from TTABVUE using a proceeding number, a plaintiff or defendant name, the mark, any words within an index, the trademark serial number, or registration number.

The revised edition of the Trademark Trial and Appeal Board’s Manual of Procedure (TBMP) is only available online through the USPTO’s web site. The TBMP provides guidance to practitioners litigating cases before the TTAB and describes current TTAB practice, statutory changes and new rules that have been promulgated since 1995, video conferencing for final hearings, and telephone conferences. The TBMP addresses electronic filing, access to the TTAB’s electronic database via the Internet, and contains suggested formats for some of the TTAB’s filings. The TTAB also disseminates its decisions from 1996 to the present to the public through its home page on the USPTO website.

4. Efforts to Identify Duplication

Every effort has been made to identify and eliminate duplication of information. This collection provides the initial information required to give notice of opposition to the registration of a mark, to request additional time to file an opposition to the registration of a mark, to initiate the cancellation of a trademark registration, to request an appeal of the Trademark Examining Attorney’s final decision, and to collect the additional papers needed to prosecute an inter partes or ex parte appeal. This information is not collected elsewhere within the USPTO. Where possible, the ESTTA system retrieves already existing data and completes fields within the ESTTA forms to eliminate the need for the filer to provide data already in the TTAB database.

5. Minimizing the Burden to Small Entities

Since registrations, oppositions, cancellations, and appeals are voluntary activities on the part of the public, the USPTO has not collected data to determine whether the collection of information impacts small businesses or other small entities.

6. Consequences of Less Frequent Collection

Less frequent collection of this information is not possible, since the information is collected only when voluntarily submitted by the public. Failure to collect this information would prevent parties from exercising their right to file an opposition to the registration of a mark, request an extension of time to file an opposition to a mark, to cancel a federally registered trademark, to appeal any final decision of the Trademark Examining Attorney in charge of the requested registration of a mark, and to file the papers needed to further prosecute an inter partes or ex parte appeal. The information could not be collected less frequently. If the collection of information was not conducted, the USPTO could not comply with the requirements of 15 U.S.C. §§ 1063, 1064, and 1070, and 37 CFR Part 2, 2.101-102, 2.104, 2.111–2.112, and 2.141 to 2.142.

7. Special Circumstances in the Conduct of Information Collection

There are no special circumstances associated with this collection of information.

8. Consultation Outside the Agency

The 60-Day Federal Register Notice was published on March 22, 2017 (82 Fed. Reg. 14696). The public comment period ended on May 22, 2017. No comments were received from the public.

9. Payment or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent.

10. Assurance of Confidentiality

Trademark applications are open to public inspection. The case files for oppositions, extensions of time to oppose a registration, petitions to cancel a trademark registration, and appeals are open to the public for review and do not require confidentiality except for certain documents filed under a claim of confidentiality, which are not available for public review. Confidential papers may be filed either electronically or in paper, under separate cover, as specified in 37 CFR 2.126(d). The TTAB has a standard order allowing for the submission of confidential material, but parties are free to agree to alternative arrangements.

11. Justification for Sensitive Questions

None of the required information is considered to be sensitive.

12. Estimate of Hour and Cost Burden to Respondents

Table 2 calculates the burden hours and costs of this information collection to the public, based on the factors described below. These estimates include Madrid submissions as well.

• Respondent Calculation Factors

The USPTO estimates that it will receive approximately 78,000 responses per year for this collection. 77,220 of these responses will be filed electronically.

These estimates are based on the Agency’s long-standing institutional knowledge of and experience with the type of information collected by these items.

• Burden Hour Calculation Factors

The USPTO estimates that the responses in this collection will take the public approximately 10 to 30 minutes (0.17 to 0.50 hours) to complete, depending on the request. This includes the time to gather the necessary information, prepare the petitions, notices, extensions, or additional papers, and submit the completed request to the USPTO. The USPTO calculates that, on balance, it takes the same amount of time to gather the necessary information, create the document, and submit it to the TTAB, whether the public submits the information in paper form or electronically.

These estimates are based on the Agency’s long-standing institutional knowledge of and experience with the type of information collected and the length of time necessary to complete responses containing similar or like information.

• Cost Burden Calculation Factors

The USPTO estimates that it will take a 50/50 level of effort by attorneys and paraprofessional/paralegals to complete the requirements in this collection. The USPTO uses a professional rate of $410 per hour, which is the mean rate for attorneys in private firms. This rate is established by estimates in the 2015 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA). The hourly rate for paraprofessional/paralegals is $141, based on the average/typical rate for paraprofessionals/paralegals. This rate is established by estimates in the rates are established by estimates in the 2015 National Utilization and Compensation Survey, published by the National Association of Legal Assistants (NALA).

Based on the Agency’s long-standing institutional knowledge of and experience with the type of information collected, the Agency expects a blended rate of $275.50 as an accurate estimate of the cost per hour to collect this information.

Table 2: Burden Hour/Burden Cost to Respondents

Item #	Item	Hours (a)	Responses (yr) (b)	Burden (hrs/yr) (c) (a) x (b)	Rate ($/hr) (d)	Total Cost ($/hr) (e) (c) x (d)
1	Petition to Cancel	0.50	5	2.50	$275.50	$688.75
1	Electronic Petition to Cancel	0.50	1,895	947.50	$275.50	$261,036.75
2	Notice of Opposition	0.50	5	2.50	$275.50	$688.75
2	Electronic Notice of Opposition	0.50	6,195	3,097.50	$275.50	$853,361.25
3	Extension of Time to File an Opposition	0.17	10	1.67	$275.50	$459.17
3	Electronic Request for Extension of Time to File an Opposition	0.17	18,900	3,150	$275.50	$867,825.00
4	Papers in Inter Partes Cases Answers Amendments to Pleadings Amendment of Application or Registration During Proceeding Motions (such as consent motions, motions to extend, motions to suspend, etc.) Evidence Briefs Surrender of Registration Abandonment of Application Documents Related to Concurrent Use Applications Notice of Intent to Appeal a TTAB decision	0.17	750	125	$275.50	$34,437.50
4	Electronic Papers in Inter Partes Cases Answers Amendments to Pleadings Amendment of Application or Registration During Proceeding Motions (such as consent motions, motions to extend, motions to suspend, etc.) Evidence Briefs Surrender of Registration Abandonment of Application Documents Related to Concurrent Use Applications Notice of Intent to Appeal a TTAB decision	0.17	40,740	6,790	$275.50	$1,870,645.00
5	Notice of Appeal	0.25	5	1.25	$275.50	$344.38
5	Electronic Notice of Appeal	0.25	3,495	873.75	$275.50	$240,718.13
6	Miscellaneous Ex Parte Papers	0.17	5	0.83	$275.50	$229.58
6	Electronic Miscellaneous Ex Parte Papers	0.17	5,995	999.17	$275.50	$275,270.42
	Totals	- - -	78,000	15,991.67	- - -	$4,405,704.17

13. Total Annual (Non-hour) Cost Burden

The total annual (non-hour) respondent cost burden for this collection is calculated in Tables 3 and 4 below. This collection has no capital start-up, maintenance, or recordkeeping costs.

Filing Fees

There is annual (non-hour) cost burden in the way of filing fees associated with this collection. Additional fees have been returned to this collection since the discontinuation of collection 0651-0072. The petitions to cancel and the notices of opposition have filing fees of $400, while the filing fee for the notices of appeal is $200. Requests for extensions of time to file an opposition have filing fees of $200 and $100, depending on the circumstances for submission. Items filed on paper are increased by $100.00. These fees are set to recover the aggregate cost to the USPTO for processing the requests, petitions, oppositions, and appeals. These fees are per application for requests for extensions of time to file an opposition, and, per application, class of identified goods and/or services and/or parties (for inter partes proceedings only) for proceedings; therefore the total filing fees can vary depending on the number of classes involved in a proceeding.

Table 3 shows the annual filing fees for parties filing the petitions to cancel, the notices of opposition, and the notices of appeal.

Table 3: Fees

Item #	Type of Cost	Estimated Annual Responses	Amount	Totals
1	Petition to Cancel	5	$500.00	$2,500.00
1	Electronic Petition to Cancel	1,895	$400.00	$758,000.00
2	Notice of Opposition	5	$500.00	$2,500.00
2	Electronic Notice of Opposition	6,195	$400.00	$2,478,000.00
3	Request for Extension of Time to File an Opposition under §2.102(c)(3)	5	$200.00	$1,000.00
3	Electronic Request for Extension of Time to File an Opposition under §2.102(c)(3)	9,600	$100.00	$960,000.00
3	Request for Extension of Time to File an Opposition under §2.102(c)(1)(ii) or (c)(2)	5	$300.00	$1,500.00
3	Electronic Request for Extension of Time to File an Opposition under §2.102(c)(1)(ii) or (c)(2)	4,200	$200.00	$840,000.00
5	Notice of Appeal	5	$300.00	$1,500.00
5	Electronic Notice of Appeal	3,495	$200.00	$699,000.00
	Totals	25,410	- - -	$5,744,000.00

Postage

There are postage costs associated with this collection. The petitions to cancel, the notices of opposition, the notices of appeal, the extensions of time to file an opposition, and the additional papers filed in inter partes and ex parte cases must be submitted to the USPTO electronically or served on other parties by email. Express or first-class mail through the United States Postal Service or hand delivery to the TTAB is only available under extraordinary circumstances. The USPTO estimates that the average submission will weigh 2 ounces and that the respondent will be mailing the original to the TTAB and serving copies on the other parties involved in the proceedings. The USPTO estimates that it costs an average of $23.75 for a flat rate, envelope to send the petitions, notices, extensions, appeals, and additional papers by Express Mail to the TTAB. To account for the service of papers on other parties, the USPTO is adding an additional 20% of the postage rate ($4.75), for an estimated cost of $28.50. The postage costs are listed in the table below.

Table 4: Postage Costs

Item #	Type of Cost	Estimated Annual Responses	Amount	Totals
1	Petition to Cancel	5	$28.50	$142.50
2	Notice of Opposition	5	$28.50	$142.50
3	Request for an Extension of Time to File an Opposition	10	$28.50	$285.00
4	Papers in Inter Partes Cases	750	$28.50	$21,375.00
5	Notice of Appeal	5	$28.50	$142.50
6	Miscellaneous Ex Part Papers	5	$28.50	$142.50
	Totals	780	- - -	$22,230

Therefore, the total (non-hour) respondent cost burden for this collection is estimated to be $5,766,230.00, which includes $5,744,000 in filing fees and $22,230 in postage.

14. Annual Cost to the Federal Government

The TTAB staff does not process the majority of the extensions of time to file a notice of opposition, notices of opposition, notices of appeal, and miscellaneous papers filed in both ex parte and inter partes proceedings submitted electronically through ESTTA. ESTTA enters the information into the file electronically and then passes the information to the TTABIS database. This database then processes the information electronically and updates the appropriate TTABIS application file. In addition, ESTTA automatically institutes 80% of the notices of opposition and 60% of the notices of appeal. There is no human intervention at all during this process.

Although the TTAB staff does not process the majority of the electronic submissions through ESTTA, they do perform additional processing for 20% of the electronic notices of opposition, 40% of the electronic notices of appeal, and 8% of the electronic extensions of time to file an opposition. Out of approximately 6,195 notices of opposition and 3,495 notices of appeal filed electronically, the TTAB staff performs additional processing for approximately 1,239 notices of opposition and 1,398 notices of appeal. Out of approximately 18,900 electronic requests for extensions of time to file an opposition, the TTAB staff performs additional processing for approximately 1,512. The TTAB staff performs additional processing for all 1,895 petitions to cancel filed electronically. The USPTO estimates that a GS-11, step 5 will process these papers and estimates that it takes approximately 10 minutes (0.17 hours) to complete the processing of extensions of time to file a notice of opposition, and 30 minutes (0.50 hours) to complete the processing of notices of opposition, petitions for cancellation, and notices of appeal. The hourly rate for a GS-11, step 5 is currently $36.12. When 30% is added to account for a fully loaded hourly rate (benefits and overhead), the cost per hour for a GS-11, step 5 is $46.96 ($36.12+ $10.84).

For the most part, personnel employed on a contractual basis process all of the papers filed in Board proceedings in the paper format. The contract personnel scan each paper into the electronic application record of the TTABIS system, file, and maintain the paper format of the document. Once the documents are in electronic format, the TTAB staff finish the processing of the electronic form of the document using TTABIS. The USPTO estimates that contract personnel with an hourly rate comparable to that of a GS-9, step 5 will process these papers, and estimates that it takes, on average, approximately 4 minutes (0.07 hours) to process each paper. The hourly rate for a GS-9, step 5, is currently $29.85. Generally, an additional 30% of the hourly rate is added to account for a fully-loaded rate that covers both overhead and benefits. Since this work is being performed by contract personnel, the USPTO will only pay for the overhead costs, not the benefits. Therefore, the USPTO estimates that approximately 15% will be added to the hourly rate. When 15% is added to account for an hourly rate including overhead, the cost per hour for the contract personnel is approximately $34.33 ($29.85 + $4.48).

In addition to the initial processing performed by the contract personnel, the TTAB staff also processes the extensions of time to file an opposition, the notices of opposition, the petitions for cancellation, and the notices of appeal filed in paper form. The USPTO estimates that a GS-11, step 5 will process these papers and estimates that it takes approximately 10 minutes (0.17 hours) to complete the processing of extensions of time to file a notice of opposition and 30 minutes (0.50 hours) to complete the processing of notices of opposition, petitions for cancellation, and notices of appeal. The hourly rate for a GS-11, step 5 is currently $36.12. When 30% is added to account for a fully loaded hourly rate (benefits and overhead), the cost per hour for a GS-11, step 5 is $46.96 ($36.12+ $10.84).

Table 5 calculates the processing hours and costs of this information collection to the Federal Government.

Table 5: Burden Hour/Burden Cost to the Federal Government

Item #	Item	Hours (a)	Responses (yr) (b)	Burden (hrs/yr) (c) (a) x (b)	Rate ($/hr) (d)	Total Cost ($/hr) (e) (c) x (d)
1	Petition to Cancel GS-9, step 5 GS-11, step 5	0.07 0.50	5	0.33 2.50	$34.33 $46.96	$11.44 $117.40
1	Electronic Petition to Cancel GS-11, step 5	0.50	1,895	947.50	$46.96	$44,494.60
2	Notice of Opposition GS-9, step 5 GS-11, step 5	0.07 0.50	5	0.33 2.50	$34.33 $46.96	$11.44 $117.40
2	Electronic Notice of Opposition GS-11, step 5	0.50	1,239	805.50	$46.96	$29,091.72
3	Extension of Time to File an Opposition GS-9, step 5 GS-11, step 5	0.07 0.17	10	0.67 1.67	$34.33 $46.96	$22.89 $78.27
3	Electronic Request for Extension of Time to File an Opposition GS-11, step 5	0.17	1,512	220.50	$46.96	$11,833.92
4	Papers in Inter Partes Cases Answers Amendments to Pleading Amendment of Application or Registration during Proceeding Motions (such as consent motions, motions to extend, motions to suspend, etc.) Evidence Briefs Surrender of Registration Abandonment of Application Documents Related to Concurrent Use Applications Notice of Intent to Appeal a TTAB decision	0.07	750	50	$34.33	$1,716.50
5	Notice of Appeal GS-9, step 5 GS-11, step 5	0.07 0.50	5	0.33 2.50	$34.33 $46.96	$11.44 $117.40
5	Electronic Notice of Appeal	0.50	1,398	314.50	$46.96	$32,825.04
6	Miscellaneous Ex Parte Papers	0.07	5	0.33	$34.33	$11.44
	Total	- - -	6,849	2,349.17	- - -	$120,460.91

15. Reason for Changes in Burden from the Current Inventory

1. Changes in Collection since the previous OMB approval in 2014

OMB previously approved the renewal of this information collection in May 2014. The current collection contains:

• 76,017 responses

• 15,524 burden hours

• $3,974.144.00 in respondent hourly cost burden

• $2,453,626.00 in annual (non-hour) costs

Additionally, there was a change worksheet approved by OMB July 2016. New fees were introduced and existing fees that were located in collection 0651-0072 were moved back to this collection. That change worksheet contained:

• 78,409 responses

• 15,524 burden hours

• $7,053,026 in annual (non-hour) costs

2. Changes proposed in this request to OMB

The proposed collection, as outlined in the tables above, seeks to modify the existing collection. The new proposed collection contains an estimated:

• 78,000 responses

• 15,991.67 burden hours

• $4,405,704.17 in respondent hourly cost burden

• $5,766,230.00 in annual (non-hour) costs

These changes are due to administrative adjustments from updated annual response estimates.

Change in Respondent Cost Burden

The total respondent cost burden for this collection has increased by $431,560.17 (from $3,974.144.00 to $4,405,704.17) from the previous actions regarding this collection:

• Increases in estimated hourly rates. The 2014 renewal used an estimated rate of $256 per hour for respondents to this collection, which was an average of the estimated attorney rate of $389 per hour and the paraprofessional rate of $125 per hour. For the current renewal, the USPTO is using updated hourly rates of $410 for attorneys and $141 for paraprofessionals, which yields a revised average estimated rate of $275.50 per hour for respondents.

• Decrease in estimated burden hours. The total estimated burden hours have increased from 15,524 in the 2014 renewal to 15,991.67 for the current renewal due to overall increases in the estimated annual responses for this collection.

Changes in Responses and Burden Hours

For this renewal, the USPTO estimates that the annual responses will decrease by 409 (from 78,409 to 78,000) and the total burden hours will decrease by 338.33 (from 16,330 to 15,993.67) from the currently approved burden for this collection. These changes are due to administrative adjustments:

Changes in Annual (Non-hour) Costs

For this renewal, the USPTO estimates that the total annual (non-hour) costs will decrease from the 2016 action, by $1,287,360.00 (from $7,053,590.00 to $5,766,230.00) due to administrative adjustments.

• Decrease of $1,287,360.00. This collection is currently approved with a total of $7,053,590.00 in non-hourly costs. For this renewal, the USPTO estimates that total fees will be $5,744,000, and $22,300 in postage costs. These changes are primarily due to a decrease in agency estimates.

16. Project Schedule

There is no plan to publish this information for statistical use.

17. Display of Expiration Date of OMB Approval

The forms in this information collection will display the OMB Control Number and the OMB expiration date.

18. Exception to the Certificate Statement

This collection of information does not include any exceptions to the certificate statement.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.